Grants 101 Office of Research and Sponsored Projects

(ORSP)

College of Graduate Studies and Research

Michael J. Stern, Ph.D., Dean

Nancy Wrinkle, Ph.D., Associate Dean

ORSP Staff

Sharon Todd, Director

Stephanie Logaras, Coordinator of Research Compliance and

Grants Services

Brooke Ha, Business Administrative Associate

This Grants 101 training session has three key parts �  Overview of ORSP areas of responsibility and

PI/ORSP roles in pre-award and post-award activities"

�  Overview of the proposal/contract life cycle and pre-award internal processes"

�  Overview of post-award processes, including budget launch"

"

Overview of ORSP Areas of Responsibility and PI/ORSP Roles"

ORSP Key Areas of Responsibility

•  Grants and Contracts!

•  Human Subjects Research!

•  Animal Care and Use!"

Grants and Contracts What ORSP Does!

�  Provides support for proposal preparation and grant award administration."

�  Informs University/College/Department leadership and the Controller’s Office/Grant Accounting of grants and contracts being pursued by faculty and staff."

Grants and Contracts What ORSP Does, continued!

�  Routes grant and contract information for approval and signatures prior to submission"

�  Submits all institutional proposals except those that require a 501(c ) (3), which are submitted through the NEIU Foundation."

Grants and Contracts

Sponsored Projects are funded by grants and contracts. !

Grants and Contracts

The Principal Investigator (PI) is ultimately responsible for sponsored projects, including:!

�  The research/creative activity!

�  Stewardship of grant funds!

�  Project leadership and management!

A PI’s role in oversight of a grant is just as important as their role in research, creative activity, or program delivery.

ORSP and PI Roles in Grants or Contracts

The Pre-Write Conference

�  Is a meeting or series of meetings with ORSP to work out details related to sponsored projects"

�  Facilitates a smooth approval process for personnel time commitments and other resources needed to produce a strong proposal"

�  Ensures the needed support is provided to PI in the proposal development process"

"

Pre-Award Key points to remember:!

!

�  Contact ORSP right away when you think you may pursue a grant or contract. !

� Work with ORSP to develop proposals, contracts and budgets."

Pre-Award ORSP will:!!

�  Ensure the process includes proper routing and procedures!

�  Support for PIs includes, but is not limited to, data requests, contact with funders, and budget development"

Post-Award �  Contact ORSP right away when you receive an

award or a request for additional information from a funder!

�  When you receive your award notification, set up a Post-Award Conference at the earliest opportunity!

The Post-Award Conference Ø  Is a meeting or series of meetings with ORSP to work on the

project launch!!Ø  Review commitments worked out during the Pre-Write

Conference.!!Ø  Facilitates the budget launch process!!Ø  Ensures support for PI in understanding all the key elements

for successful project execution!"

Post-Award ORSP assists PIs in the Post-Award process by:!•  Assisting the Provost and PIs as they fulfill their

responsibilities related to sponsored projects!•  Explaining key responsibilities and processes

related to their projects!•  Streamlining processes when possible and

appropriate!

ORSP and PI Roles in Human Subjects Research

CITI Program Training Before any research activity begins, PI must complete the CITI Program Course Group 1. Social and Behavioral Research – Basic Course. ""Completing the Basic Course with a score of at least 80% on all quizzes will certify a researcher for three years and enable the researcher to apply to the University’s Institutional Review Board (IRB) for approval for research projects."""

Human Subjects Research

Key points:!�  Do not begin research with human subjects

before you receive approval from the IRB !

�  Data collected without IRB approval cannot be used for presentation or publication!

Human Subjects Research The IRB Application!

Provide two hard copies and one electronic copy of your IRB application and Informed Consent Forms in Microsoft Word format to ORSP.!

Human Subjects Research, continued

�  ORSP reviews the application for completeness and compliance.!

�  The IRB reviews the application and provides comments on needed clarifications, revisions or changes!

�  The PI provides needed clarifications, revisions or changes prior to receiving IRB approval!

ORSP Services Proposal Preparation Assistance!•  Liaison with funding agencies!•  Pre-Write Conference!•  Proposal development and submission support!!

Grant Award Administration!•  Post-Award Conference!•  Financial management support!•  Compliance and reporting support!

Grant and Contract Lifecycle

Overview, Pre-Award Development, and Post-Award Compliance!

Proposal/Contract Lifecycle Overview

Finding a funding

opportunity

Planning, proposal writing & budget

development

Proposal submission to agency

Receive award, Post-Award Conference to

review terms & conditions and

complete budget set up

Award management &

monitoring

Award closeout

Pre-Award Development and Process Overview

�  Program Planning & Proposal Development!

�  Budget Development!

�  Internal Proposal Routing, Submission, and Just-in-time!

Program Planning and Proposal Development

�  ORSP can help with finding and considering funding opportunities.!

�  Before selecting a specific opportunity, there are key facts that need to be confirmed from within the funder instructions/guidelines.!"

"

Program Planning and Proposal Development, cont.

�  When a funding opportunity is chosen, notify ORSP right away!!

!�  ORSP has a lot of experience with funder guidelines. !

�  ORSP will assist with proposal development planning and required components needed for proposal submission. "

"

"

Budget Development �  A budget should be a best estimate of costs that

clearly tie back to the programmatic elements of the project!

�  Budget guidelines vary for each funding opportunity. Key things to take note of:!

"�  Maximum or minimum budget limits""�  Budget format requirements"

�  Budget items that are not allowed"

�  Budget items that must be included""�  Cost sharing, cash/in-kind match or other institutional

contribution"

Budget Development, cont.

� Allowable and Unallowable Costs may vary for each funding opportunity. Refer to the guidelines for rules.!

Internal Proposal Routing � ORSP routes all proposals for internal approvals

before submission!"�  Routing should take place 5 business days prior to the

submission deadline""

�  Routing ensures that key NEIU stakeholders are in agreement with the details of the proposal"

""

Proposal Submission

�  ORSP submits all institutional proposals except those that require a 501(c)(3), which are submitted by the NEIU Foundation"

�  ORSP coordinates closely with PIs "

�  ORSP sends submission confirmation to project PIs"

“Just-in-time” Process

�  Up-to-date information on key personnel time commitments""

�  Revised budgets"

�  Funder requests for just-in-time information should be routed to ORSP as soon as possible.!

"

Pre-Award Development and Process Recap

�  Program Planning!

�  Proposal and Budget Development!

�  Evaluating Funding Opportunity Guidelines !

�  Internal Proposal Routing!

�  Proposal Submission!

�  Just-in-time!

Award Receipt and Post-Award Compliance

�  What to do When Your Project is Funded!

�  Compliance Tips and Resources!

Award Administration: What to Do When Your

Project Is Funded !

�  Let ORSP know right away!""�  Set up Post-Award Conference meeting(s) with ORSP""�  ORSP obtains the signature of the Authorized/Institutional Official""�  Awards are awarded to NEIU rather than to individuals""�  Review of award Terms and Conditions for key issues"

"

Award Administration: Universal Rules of Thumb & Compliance Tips

�  Expenses charged to your grant account must be:!"�  allowable and directly related to the project"

�  incurred during the project period""�  Reporting deadlines must be met !"�  Consider each award as unique and be familiar with the

terms and conditions!"�  Ask ORSP any questions"

"�  Terms and conditions may be explicit and/or implied!

�  ORSP will assist with interpretation "!

"

Post-Award Compliance Policy Resources, (P. 13 in packet)"

OMB A-21 ! "

Establishes principles for determining costs allowed for grants, contracts, and other agreements with educational institutions" "http://www.whitehouse.gov/omb/circulars_a021_2004 "

OMB A-110 ! "

Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non - Profit Organizations" "Establishes requirements for consistency in application of cost principles across federal funding agencies" "http://www.whitehouse.gov/omb/circulars_a110 "

U.S. Department of Education: Education Department General

Administrative Regulation (EDGAR)!

Policy guide for funding from the U.S. Department of Education" "http://www2.ed.gov/policy/fund/reg/edgarReg/edgar.html "

National Science Foundation: !Award and Administration Guide

(AAG)!

Policy guide for funding from the National Science Foundation (NSF)" "http://www.nsf.gov/pubs/policydocs/pappguide/nsf14001/aagprint.pdf "

National Institutes of Health:!Grants Policy Statement!

Policy guide for funding from the National Institutes of Health (NIH)" "http://grants.nih.gov/grants/policy/nihgps_2013/"

Research Terms & Conditions (RTC)! "

Federal-wide, standardized core set of terms defining conditions when prior approval is waived or required for grantees""If an award notice cites Research Terms and Conditions (RTC), then there is guidance about which administrative actions will require prior funding agency approval and which will not require prior agency approval" "http://www.nsf.gov/awards/managing/rtc.jsp"

Award Receipt and Post-Award Compliance Recap

�  What to do when you get an award!

�  Award terms and conditions!

�  Compliance!

PROJECT LAUNCH AND EXECUTION

Grant Award Notification

•  Notify ORSP right away and send a copy of the GAN or other award notice."

•  ORSP will start to work with the PI immediately to set up the grant. "

� PI meets with ORSP to:!� Review the terms of the grant!� Set up the grant budget !� Complete all required NEIU budget

launch paperwork!

POST-AWARD CONFERENCE

Post-Award Process 1.  Initial meeting between ORSP & PI"

2.  ORSP obtains Grant Code/Fund #"

3.  ORSP & the PI work together to complete the Post-Award Packet "

4.  ORSP sends the completed Post-Award Packet to the Budget Office"

5.  ORSP enters grant information into Banner and the budget becomes “live”"

""

“Live” budget

Initial meeting

The Advantages of Post-Award Packet

� All post-award forms are available at ORSP"

� ORSP expedites forms for signatures and saves PI from getting signatures all over campus"

� All forms are kept together and grant records are easily accessible"

"

"

The Post-Award Packet "1.  Grant Cover Sheet "2.  Budget Sheet"3.  Budget Transfer Request"4.  Financial Information

Request Form "5.  Application for Fund

Number "6.  Authorized Financial

Manager Signatory Cards """"

Project Launch •  Notify ORSP when you receive your GAN"

•  Schedule a Post-Award Conference with ORSP"

•  Complete the paperwork to set up your project & budget"

"

Happy spending!

Key Terms to Note: F-O-A-P"�  Identifies a specific grant award"

�  Consists of 4 components: the Fund, the Organization, the Account and the Program "

�  Is used to make purchases, charge expenditures, etc. "

�  Each FOAP has an identified Financial Manager"

What are Account Codes? •  Identify specific pots of

money within a grant budget"

•  Specify what the money is to be used for"

•  Are either pooled/roll up or detailed "

•  Roll up Account code for Commodities/supplies 730000"

•  Detailed account code for office supplies (pencils) 731308"

Personnel   Salaries/Wages   619000  

Retirement Contribution (SURS)   621160  

FICA Contribution (FICA/Medicare)   621170  

Group Insurance (Health, Dental, Life)   621180  

Non-Personnel   Contractual Services   710000  

Travel   720000  

Account  

  Commodities/Supplies   730000   Codes  

Equipment   740000  

Telecommunications   750000  

Operation of Automotive Equipment   760000   Award & Grants (Tuition Waivers, Awards Matching)   770000  

Cost Sharing   780000  

Indirect Cost   785000  

Permanent Improvements   790000  

Budget Sheet •  A working budget document created to facilitate spending""•  Is used as a reference on budget details"

•  Budget details are transparent and charged to the correct account code ""

"

College:    Name of Grant:    Grant Period:    

Sponsor:     OSP Proposal Number:    

PERSONNEL      Description   ACCOUNT   AMOUNT  

Principal Investigator: Bryan X (30%)   619000   25,000   Project Coordinator: Charlotte Y (50%)   619000   20,000  

TOTAL     44,000  FRINGE BENEFITS      

Description   ACCOUNT   AMOUNT  SURS (11.71%): Bryan X   621160   2,927.50  

Medicare (1.45%): Bryan X   621170   362.50  Health, Dental & Life ($1,984 + $22.72): Bryan X   621180   7,224.19  

FICA (6.2%): Charlotte Y 621170   1,240 Medicare (1.45%): Charlotte Y   621170   290

TOTAL     12,044.19  CONTRACTUAL SERVICES      

Description   ACCOUNT   AMOUNT  Conference Registration   710000   100  

External Evaluator   710000   10,000  TOTAL     10,100  

TRAVEL      Description   ACCOUNT   AMOUNT  

National Conferences   720000   2,500  TOTAL     2,500  

COMMODITIES & SUPPLIES      Description   ACCOUNT   AMOUNT  

Office Supplies   730000   2,000   Printing/Duplication   730000   500  

TOTAL     2,500  

TOTAL GRANT BUDGET   71,144  

Account codes"

Types of expenses"

Recap of Key Terms F-O-A-P"•  Fund – where the money is coming from"•  Organization – college/department the grant is assigned to"•  Account – type of income, expenses, assets, liabilities, etc."•  Program – for the University’s financial reporting purposes "

Account Codes !•  Identify specific pots

of money within a grant budget"

•  Specify what the money is to be used for"

•  Are either pooled/roll up or detailed "

!

GRANTS 101 RECAP OF KEY POINTS

What the PI Does:!"

Pre-award"•  Informs the Unit Head

about the proposal and time/effort"

•  Contacts ORSP & work with ORSP on developing the proposal"

What ORSP Does:!"

Pre-award"• Assists with developing proposal & budget preparation"• Ensures proposals meet agency guidelines"• Expedites campus review""

GRANTS 101 RECAP cont. What the PI Does:"

Post-award"• Works with ORSP and other

NEIU units to complete business processes"• Routinely monitors project

activities and budget status."• Responsible for project

performance reports, annual reports, etc."

What ORSP Does:""Post-award"• Works with Grant Accounting

to enter the grant budget in Banner so that the PI can start spending"• Assists PI with Post-Award

activities as needed""

Red Flags to Look Out For: • Delayed budget launch"•  Inadequate budget monitoring"•  Inadequate PI oversight"•  Incorrect charges"• Late reports to funders"• Overspending"• Underspending"

QUESTIONS?

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